What are the responsibilities and job description for the Senior Compliance Officer position at Mason Alexander?
A leading global proprietary trading firm is seeking an experienced Senior Compliance Officer to join its Americas Compliance team in New York City. This is a high-impact role supporting all aspects of the firm’s U.S.-listed options and futures businesses. Reporting directly to the Americas Chief Compliance Officer, you will serve as a trusted advisor to trading, technology, and business leadership.
About the Role
The successful candidate will bring deep expertise in U.S.-listed options and futures regulations, a strong understanding of market structure, and familiarity with both algorithmic and high-touch proprietary trading environments.
Key Responsibilities
- Act as the primary compliance contact for trading, algo, business development, and technology teams on all U.S.-listed options and futures matters
- Provide timely, practical guidance on regulatory requirements including market making, trading, regulatory reporting, and net capital rules
- Review and approve new products, markets, and business initiatives to ensure compliance from launch
- Assist with the development and review of surveillance reports
- Maintain and update Written Supervisory Procedures (WSPs) and internal compliance policies
- Develop and deliver relevant compliance training across the business
- Support periodic compliance risk assessments and internal reviews
- Prepare thorough, accurate responses to regulatory inquiries and examinations
- Build and maintain strong working relationships with key regulators
Qualifications
- Bachelor’s degree in Finance or related discipline; J.D. or advanced degree is an advantage
- 8 years of progressive compliance experience within a major U.S. options market-making firm
- Extensive knowledge of U.S. options and futures market structure and the regulatory framework governing these products
- Strong understanding of regulatory reporting requirements (e.g., CAT, Futures Audit Trail)
- Familiarity with algorithmic and high-touch trading systems
- Established relationships with U.S. options regulatory staff
- Excellent communication skills, with the ability to translate complex regulations for diverse stakeholders
- Strong organizational ability and comfort managing multiple complex initiatives
- Proficiency in SQL, Python, or advanced Excel is a strong plus